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The Fair Process Doctrine in compliance

One of the areas in which human resources can operationalize the compliance program is by ensuring that discipline is handed out fairly across the company and to those employees who integrate ethical and compliant behavior into their individual work practices going forward.

Institutional objectivity comes from procedural fairness. This is one of the things that will bring credibility to your compliance program. This Fair Process Doctrine recognizes that there are fair procedures, not arbitrary ones, in processes involving rights. Adhering to this doctrine in three areas of your compliance program is critical for both compliance specialists and for the compliance department to have credibility with the rest of the workforce.

One area in which the Fair Process Doctrine is paramount is in the administration of discipline following any compliance related incident. Discipline must be administered not only fairly, but uniformly across the company as it applies to the...

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